Compliance Independent Testing Examiner Vice President

4 weeks ago

Jersey City, New Jersey, United States Global Systems Search Inc Full time

Vice President, Compliance Independent Testing Examiner

This is a long-term contract position with Global Systems Search Inc.

Key Responsibilities:

  • Develop and implement compliance testing programs for specific business units and products based on applicable laws, regulations, risks, and internal policies.
  • Conduct independent compliance testing of regulatory requirements, processes, policies, procedures, and controls to assess and review compliance with legal, regulatory, and internal firm policy and procedure requirements.
  • Test key controls of the first and second lines of defense.
  • Evaluate and escalate potential issues and exception items noted during the review process to the Compliance Independent Testing Manager and/or Head of CIT for discussion and further investigation if deemed necessary.
  • Draft and validate issues and recommendations addressing the root cause of the issues with stakeholders.
  • Prepare and issue final reports detailing regulatory requirements, testing conducted, review findings, and recommendations to senior management.
  • Ensure that all findings and recommendations are entered into the Reporting & Issue Tracking Application database for tracking purposes and perform periodic follow-up of open issues to ensure proper resolution.
  • Periodically report on significant activities conducted and planned for the upcoming period, including various metrics.
  • Conduct ad-hoc testwork of various rules and regulations in conjunction with the annual CEO/CCO Certifications.
  • Assist with the annual CEO/CCO Certifications as needed.
  • Initiate and conduct projects within CIT to enhance the team's processes to reach overall team goals.
  • Conduct various CIT tasks in the normal course of business and in addition to testing.
  • Conduct or assist with special investigations and projects as deemed necessary by senior Compliance and business management.
  • Assist in compliance-related matters during examinations by the Firm's regulators and internal auditors.
  • Achieve objectives within strict time constraints.

Minimum Required Qualifications:

The desired skills for this position include:

  • Strong testing, audit, and/or regulatory experience of regulatory requirements, processes, and controls.
  • Strong knowledge of U.S. securities, commodities, and banking regulations, including the rules and regulations of the SEC (i.e., SEC Rule 15c3-5, SEC Rule 15a-6), CFTC, and all exchanges and associations under such federal agencies, including FINRA, NYSE, CBOE, ISE, CME, NYMEX, and ICE US. Such knowledge should also include Federal Reserve Board regulations, Volcker, CFTC Swap Dealer, and SEC Swap Dealer requirements.
  • Strong industry knowledge and working knowledge of the financial services focused on broker-dealer, futures, and banking activities.
  • Strong ability to apply knowledge of rules and regulations to numerous types of trading and banking activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • Excellent interpersonal and communication skills with the ability to interact effectively with front and back office staff and senior management.
  • Excellent writing skills summarizing regulatory requirements, testing performed, results, findings, and recommendations.
  • Excellent execution skills with the ability to work successfully under demanding deadlines within a change management environment, manage multiple compliance reviews/projects/tasks at the same time, and meet deadlines.
  • Strong analytical and investigative skills.
  • Problem-solving and root cause identification skills.
  • Acute business acumen and understanding of organizational issues and challenges.
  • Strong organizational and project management skills, and attention to detail.
  • Demonstrate and influence others with a positive attitude in the workplace and the ability to accept accountability.
  • Strong computer skills including MS Office Suite, PowerBI, and Sharepoint administration.
  • Eight to twelve years of experience with a financial services firm and/or self-regulatory organization in a Compliance Testing, Internal Audit, or regulatory-related position.
  • BA or BS Degree a must.

Preferred Qualifications:

  • Graduate Degree a plus.
  • Professional Certification or Securities licenses preferred (SIE, Series 3, 4, 7, 9 / 10, 24).
  • Speaks and reads Spanish or French a plus.

FINRA Registrations Required:

  • SIE or equivalent (must be obtained within the first year of employment)
  • Series 7 (may be taken after the SIE)

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